DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

F•••••••• H••• L••• T••

C••••• P••••••• L••independent RIABoca Raton, Fl IA-onlyIAPD 2024875

Certified Financial Planner

Feed of 09/15/2026

Also filed as F•••••••• Tan

At current firm

2 y

since Aug 2, 2024

In the industry

24 y

since Dec 18, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• P••••••• L•• independent RIA current
since Aug 2, 2024 · Boca Raton, Fl
G•••••• S•••• W••••• S•••••••• L••• BD affiliated
Nov 6, 2023 to Jul 25, 2024 · Miami, Fl
U••••• C•••••• F•••••••• A••••••• independent RIA
Mar 17, 2022 to Nov 17, 2023 · Miami, Fl
R•• C•••••• M••••••• L•• national BD
Nov 21, 2019 to Feb 23, 2022 · Fort Lauderdale, Fl

Moves

a registration end followed by a registration begin elsewhere

G•••••• S•••• W••••• S•••••••• L••• to C••••• P••••••• L••
left Jul 25, 2024, registered Aug 2, 2024 (8 days) · Affiliated broker-dealer or bank to independent RIA
U••••• C•••••• F•••••••• A••••••• to G•••••• S•••• W••••• S•••••••• L•••
left Nov 17, 2023, registered Nov 6, 2023 (-11 days) · RIA to affiliated broker-dealer or bank · moved with a team
R•• C•••••• M••••••• L•• to U••••• C•••••• F•••••••• A•••••••
left Feb 23, 2022, registered Mar 17, 2022 (22 days) · Affiliated broker-dealer or bank to another

Signals

F•••••••• H••• L••• T•• left G•••••• S•••• W••••• S•••••••• L••• for C••••• P••••••• L•• (registered 2024-08-02)
Jul 25, 2024 · Advisor changed firm · fact
F•••••••• H••• L••• T•• left U••••• C•••••• F•••••••• A••••••• for G•••••• S•••• W••••• S•••••••• L••• (registered 2023-11-06)
Nov 17, 2023 · Advisor changed firm · fact
F•••••••• H••• L••• T•• left R•• C•••••• M••••••• L•• for U••••• C•••••• F•••••••• A••••••• (registered 2022-03-17)
Feb 23, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address